The vision of ECX is to become a leading and dynamic Exchange in Africa. ECX has a mission to provide a modern, efficient, transparent and reliable market platform to serve the national development goals through adaptation of technology, excellence in innovation and with integrity. ECX is a unique partnership of market actors, Members of the Exchange, and its main promoter, the Government of Ethiopia. ECX represents the future of Ethiopia, bringing integrity, security, and efficiency to the market. ECX would like to recruit motivated and qualified applicants for the following positions.
1. Position: Specialist, Legal Service
Required No.: 1 (One)
Duty Station: Addis Ababa
Reports to: Manager, Legal Service Division
JOB PURPOSE
Oversee compliance is maintained with the relevant laws and regulations at all levels and by the Exchange, Members and clients. Investigate any breaches in compliance and prepare investigation reports.
SUMMARY OF MAJOR DUTIES AND RESPONSIBILITIES
· Investigate any breaches in compliance and prepare Investigation Reports ;
· Follow up on reports by Market Surveillance on Member’s trading activities and market trends;
· Carry out inspection of Member books and accounts and records through Member periodic reports and Conduct an on-site inspection visits to Member firms;
· Undertake annual members compliance audits;
· Draft legal documents including the Rules of the Exchange
· Provide legal advice on the Exchange`s activities to the Exchange Departments and Divisions
· Attend and supervise trading sessions of the Exchange to advise and follow up trading activities and to solve trade infractions on the spot;
· Review membership applications for compliance with the applicable relevant laws;
· Prepare charge documents based on the investigations conducted on any breaches in compliance;
· Follow up and ensure enforcement of the Business Conduct Committee (BCC) disciplinary measures;
· Conducting compliance training for members, clients, representative, relevant Government officers and the Exchange staff;
· Perform other related tasks as assigned by the immediate supervisor.
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